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Bradley R. Roth
MCDOWELL ASSOCIATES INVESTMENTS, LP
Greensburg, PA 15601
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CRD#: 5686432
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Professional summary
Bradley R Roth, CFP® is a registered financial advisor currently at MCDOWELL ASSOCIATES INVESTMENTS, LP located in Greensburg, Pennsylvania and THOR FINANCIAL TECHNOLOGIES located in Greensburg, Pennsylvania.
Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Bradley has worked at 4 firms and has passed the Series 66, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Bradley R. Roth is a licensed insurance agent & owner of McDowell Associates. From time to time, he will offer clients advice or products from those activities. Clients should be aware that these services pay a commission and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. Kattan Ferretti Financial L.P. always acts in the best interest of the client; including the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of Kattan Ferretti Financial L.P. in such individual's capacity as an insurance agent. 2. THOR Financial Technologies, LLC which is an SEC registered investment advisor. THOR Financial Technologies, LLC is the manager for a publically traded ETF ticker $THLV ( THOR LOW VOLATILITY ETF). Bradley R. Roth is a 23.5% owner and Cameron Roth is a 12% owner of THOR Financial Technologies, LLC. We both act as portfolio managers for the ETF. From time to time it may be in a clients best interest to invest in THLV therefore we need that disclosed. Additionally if a client is invested in THLV we will reduce their money management fee pro-rata with the ETF management fee.
CRS (Client Relationship Summary) - RIA
Click below to view Bradley R Roth's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
May 20, 2013 - Present
MCDOWELL ASSOCIATES INVESTMENTS, LP
Office #1: 327 W. Pittsburgh Street, Greensburg, PA 15601RIA
CRD#: 167710
Greensburg, PA
Current
September 17, 2020 - Present
THOR FINANCIAL TECHNOLOGIES
Office #1: 327 W. Pittsburgh St., Greensburg, PA 15601RIA
CRD#: 310362
Greensburg, PA
Past
June 12, 2012 - February 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GREENSBURG, PA
Past
June 12, 2012 - February 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GREENSBURG, PA
Past
September 27, 2011 - May 7, 2012
BILL FEW SECURITIES, INC.
BD
CRD#: 41917
PITTSBURGH, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
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THOR FINANCIAL TECHNOLOGIES
THOR FINANCIAL TECHNOLOGIES | THOR TRADING ADVISORS, LLC
CRD#: 310362 / SEC#: 801-126093
RIA
Registered Investment Advisory firm - (7/15/2022 Approved)Pennsylvania
Registered Investment Advisory firm - (7/20/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Pennsylvania(5/20/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TF
THOR FINANCIAL TECHNOLOGIES
THOR FINANCIAL TECHNOLOGIES | THOR TRADING ADVISORS, LLC
CRD#: 310362 / SEC#: 801-126093
RIA
Registered Investment Advisory firm - (7/15/2022 Approved)Pennsylvania
Registered Investment Advisory firm - (7/20/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
327 W. Pittsburgh St., Greensburg, PA 15601
Mailing Address
Phone number
(412) 860-6078
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 113,903,619 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THOR FINANCIAL TECHNOLOGIES
CRD#: 310362Greensburg, PA 15601TRUST BUT VERIFY
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